SEC Form 4/A · accession 0001225208-17-013350

BARINGS CORPORATE INVESTORS · MCI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Other

Period of report

Jul 13, 2017

Accepted (ET)

Aug 7, 2017 · 7:47 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000275694

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Babson Capital Non Qualified Thrift Plan^F1	—	Jul 20, 2017	J	23	A	—	—	Common Shares ("Shares of Beneficial Interest")	23	25,849	D

F1Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.
F2Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.

Amending Form 4 filed on 7/24/17 via Accession number 0001225208-17-012832 as incorrect transaction date was reported.